Nbt Capital Management, Inc.
- Regulatory AUM
- $1.6B
- Discretionary
- $1.2B
- Clients
- 786
- Avg AUM / client
- $2.0M
- Accounts
- 1,308
- Employees
- 15
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 310 | $99.8M | 6.21% |
| High net worth individuals | 84 | $254M | 15.8% |
| Pension and profit sharing plans | 392 | $1.3B | 78.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Human Kinetics, Inc. 401(k) Plan Human Kinetics, Inc. | 2024 | |
| Backlund Investment Co Profit Sharing & 401(k) Plan Backlund Investment Co | 2024 | |
| Epic Cpf 401(k) Plan Epic Enterprises Inc | 2024 |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Coggins, Douglas, Jon | Chief Compliance Officer | Mar 2024 (2y) | Less than 5% | |
| Mahoney, Ruth, Halley | Ceo | Mar 2024 (2y) | Less than 5% | |
| John Edward Rice | Registered representative | Jan 2018 (9y) | ||
| John Constantine Karadenes | Registered representative | Apr 2022 (4y) | ||
| Ann Beatrice Megan | Registered representative | CFP | Apr 2022 (4y) | |
| Nancy Dunham Cleveland | Registered representative | Apr 2022 (4y) | ||
| Kevin J Nester | Registered representative | Feb 2024 (2y) | ||
| Scott Matthew Patton | Registered representative | May 2024 (2y) | ||
| Michael Joseph Kiley | Registered representative | Sep 2024 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Nbt Bank, N.A | Sole Stockholder | Dec 2016 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Human Kinetics, Inc. 401(k) Plan | Human Kinetics, Inc. | 157 | $19.7M | 05/01/2024 |
| Backlund Investment Co Profit Sharing & 401(k) Plan | Backlund Investment Co | 149 | $42.8M | 01/01/2024 |
| Epic Cpf 401(k) Plan | Epic Enterprises Inc | 425 | $35.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/04/2026 | 1.07 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $1.3B (82% of AUM) Jun 2026
- Fidelity Investments $209M (16% of AUM) Jun 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 04, 2026.
View current Form ADV (SEC/IAPD) ↗